0000950103-20-000857.txt : 20200121 0000950103-20-000857.hdr.sgml : 20200121 20200121192335 ACCESSION NUMBER: 0000950103-20-000857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200116 FILED AS OF DATE: 20200121 DATE AS OF CHANGE: 20200121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Papiernik Antoine CENTRAL INDEX KEY: 0001768408 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38829 FILM NUMBER: 20537332 MAIL ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ShockWave Medical, Inc. CENTRAL INDEX KEY: 0001642545 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 270494101 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: (510) 279-4262 MAIL ADDRESS: STREET 1: 5403 BETSY ROSS DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 4 1 dp119488_4-papiernik.xml FORM 4 X0306 4 2020-01-16 0 0001642545 ShockWave Medical, Inc. SWAV 0001768408 Papiernik Antoine C/O SHOCKWAVE MEDICAL, INC. 5403 BETSY ROSS DRIVE SANTA CLARA CA 95054 1 0 1 0 Common Stock 2020-01-16 4 S 0 57848 44.03 D 3192627 I By Sofinnova Capital VII FCPR Common Stock 2020-01-16 4 S 0 3611 44.56 D 3189016 I By Sofinnova Capital VII FCPR Common Stock 2020-01-17 4 S 0 82383 44.58 D 3106633 I By Sofinnova Capital VII FCPR Common Stock 2020-01-17 4 S 0 14708 45.00 D 3091925 I By Sofinnova Capital VII FCPR Common Stock 2020-01-21 4 S 0 38836 42.67 D 3053089 I By Sofinnova Capital VII FCPR Common Stock 2020-01-21 4 S 0 53439 43.88 D 2999650 I By Sofinnova Capital VII FCPR Common Stock 2020-01-21 4 S 0 77175 44.74 D 2922475 I By Sofinnova Capital VII FCPR Represents shares directly held by Sofinnova Capital VII FCPR, reported by Sofinnova Capital VII FCPR on a separate Form 4. The reporting person is one of the managing partners of Sofinnova Partners SAS, a French corporation and the management company of Sofinnova Capital VII FCPR. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $43.42 to $44.34. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $44.48 to $44.63. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $43.98 to $44.97. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $44.98 to $45.02. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $42.19 to $43.18. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $43.19 to $44.18. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $44.19 to $45.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. All transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by Sofinnova Capital VII FCPR on 12/06/2019. /s/ Trinh Phung, as attorney-in-fact for Antoine Papiernik 2020-01-21